DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Phillip Livio Faso

Wells Fargo AdvisorswirehouseMokena, Il dual registrantIAPD 7169813

Feed of 09/14/2026

Also filed as Phillip Livio Faso

At current firm

0 y

since Oct 1, 2025

In the industry

11 y

since May 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Wells Fargo Advisors wirehouse current
since Oct 1, 2025 · West Bend, Wi
Cetera Investment Advisers LLC BD affiliated
Mar 21, 2024 to Oct 10, 2025 · Homewood, Il
Ergawealth Advisors, Inc. independent RIA
May 26, 2022 to Sep 19, 2025 · Oak Brook, Il
Cetera Advisors LLC former
May 16, 2022 to Mar 21, 2024 · Oak Brook, Il
Wintrust Investments former
Feb 24, 2022 to May 17, 2022 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

Cetera Investment Advisers LLC to Wells Fargo Advisors
left Oct 10, 2025, registered Oct 1, 2025 (-9 days) · Affiliated broker-dealer or bank to wirehouse
Ergawealth Advisors, Inc. to Cetera Investment Advisers LLC
left Sep 19, 2025, registered Mar 21, 2024 (-547 days) · RIA to affiliated broker-dealer or bank
Cetera Advisors LLC to Ergawealth Advisors, Inc.
left Mar 21, 2024, registered May 26, 2022 (-665 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Wintrust Investments to Cetera Advisors LLC
left May 17, 2022, registered May 16, 2022 (-1 days) · RIA to affiliated broker-dealer or bank

Signals

Phillip Livio Faso left Cetera Investment Advisers Llc for Wells Fargo Advisors (registered 2025-10-01)
Oct 10, 2025 · Advisor changed firm · fact
Phillip Livio Faso left Ergawealth Advisors, Inc. for Cetera Investment Advisers Llc (registered 2024-03-21)
Sep 19, 2025 · Advisor changed firm · fact
Phillip Livio Faso left Cetera Advisors Llc for Ergawealth Advisors, Inc. (registered 2022-05-26)
Mar 21, 2024 · Advisor changed firm · fact
Phillip Livio Faso left Wintrust Investments for Cetera Advisors Llc (registered 2022-05-16)
May 17, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address